ARCHIVED - Office of the Correctional
Investigator

2005-2006
Estimates

A Report on Plans and Priorities

Approved

______________________________________

The Honourable Anne McLellan, P.C. M.P.
Solicitor General of Canada
(Minister of Public Safety and Emergency Preparedness)

TABLE OF CONTENTS

SECTION I: AGENCY OVERVIEW

A. Correctional Investigator's Message
B. Agency Priorities and Expected Results
Exhibit 1.1 Agency Priorities and Expected Results
C. Summary Information
D. Agency Plans and Priorities

SECTION II: ANALYSIS OF PROGRAM ACTIVITIES BY STRATEGIC OUTCOME

Exhibit 2.1 Agency PAA and Expected Results
Exhibit 2.2 OCI Logic Model
Exhibit 2.3 Performance Indicators and Measurement Strategy

SECTION III: SUPPLEMENTARY INFORMATION

A. Management Representation Statement
B. Agency Governance Structure
Exhibit 3.1 - Organization Chart
C. Financial Information
Exhibit 3.2 Agency Planned Spending and Full Time Equivalents
Exhibit 3.3 Program Activities
Exhibit 3.4 Voted and Statutory Items in Main Estimates
Exhibit 3.5 Net Cost of Agency

SECTION IV: OTHER ITEMS OF INTEREST

A. Government On-Line Information
B. Statutes and Regulations
C. Reports
D. References

Section I: Agency Overview

A. Correctional Investigator's Message

The responsible oversight of our correctional system to ensure that it is safe, secure, fair, humane and effective is a service that I am convinced Canadians consider highly valuable and a necessary function in any advanced democracy. Thousands of incarcerated Canadians, members of their families and third parties acting on their behalf continue to contact my Office on a broad range of issues, notably personal safety, health care, access to mental health services, conditions of confinement and deprivation of fundamental human rights.

Accordingly, one year after assuming the position of Canada's Correctional Investigator, I believe more firmly than ever in the critical importance of my Office's mandate. The essential oversight role of the Office of the Correctional Investigator is to ensure that the Correctional Service of Canada carries out its statutory mandate in compliance with its domestic and international legal and human rights obligations. I also passionately share the view of Canadians that the highest degree of excellence in the field of corrections is a legitimate expectation of those privileged to be so entrusted.

As previously reported to Canadians and Parliament, the Office of the Correctional Investigator (OCI) has achieved significant milestones in improving the efficiency and effectiveness of its investigative process. The OCI has now successfully addressed all the priorities outlined in its January 2002 Corporate Strategic Plan. All correctional institutions are visited more frequently by our investigative staff. Both individual and systemic offender issues are dealt with in a more timely, effective and proactive fashion. Historically disadvantaged segments of the offender population, notably Aboriginal Offenders and Women Offenders are receiving specialized and coordinated investigative services. Finally, our efforts have contributed to noteworthy improvements in how the Correctional Service of Canada (CSC) manages situations where it uses force against inmates and incidents where serious bodily injury or death is suffered by an offender.

In the same vein, I am encouraged by the fact that the Correctional Service of Canada (CSC) has responded in a positive fashion to the recommendations we made in our latest Annual Report in 20 specific areas of concern. In the majority of cases, CSC has initiated a range of corrective action. We will continue to closely monitor and work collaboratively with CSC to ensure that the actions taken are timely, reasonable and truly address the offender concerns raised.

While some long standing concerns will remain at the core of our operations over the three year planning cycle covered by the present report, my Office will continue to actively explore new strategic directions and set new priorities as required.

On the managerial level, our first enterprise-wide imperative will be to operationally integrate our new Management Resources and Results Structure (MRRS) and Program Activity Architecture (PAA). While some of the groundwork to achieve this objective resides in our March 2002 Integrated Planning Framework, considerable effort will be required to more precisely restate our expected results, refine our performance indicators, and adjust our performance measurement strategy. The ultimate aim will be to improve our data collection and analysis, with a view to providing Canadians and their elected representatives with more informative reporting on the results achieved by the OCI.

Our second collective undertaking will be to step up, consistently with our legislative requirement, our Public Education activities. OCI senior management and staff will actively seek out opportunities to disseminate information on not only our mandate, but also on our current plans and priorities, overall performance, and the challenges faced by our agency.

On an operational level, my office will prioritize a number of on-going and emerging issues, many of which were mentioned in our latest Annual Report. Issues identified as requiring more immediate attention in 2005-2006 are offender concerns related to infectious diseases, mental health services and staff-offender harassment.

In all of these endeavours, the Office of the Correctional Investigator will continue to work in collaboration with other government agencies and with the private and not-for profit organizations involved in the fields of corrections, human rights and criminal justice.

Canadians appreciate that the quality of correctional treatment and of post-release assistance offered to offenders, are key factors in their ability to successfully reintegrate the community as law-abiding citizens and to contribute thereby to its overall safety.

In the final analysis, our "raison d'être" will steadfastly remain to ensure that Canadians fully benefit from a safe, secure, fair, humane, reasonable and effective federal correctional system. The achievement of these standards of excellence consistent with democracy, sound governance, equity, justice and compassion will be the ultimate measures of our success.

Howard Sapers
Correctional Investigator

B. Agency Priorities and Expected Results

The Office of the Correctional Investigator (OCI) is legislatively mandated as an Ombudsman for federal offenders. An effective and independent oversight agency promotes correctional practices which respect the rule of law, established policies and procedures. It is an essential element of an open and accountable criminal justice system.

The primary function of the OCI is to conduct investigations and facilitate resolution of individual and systemic offender complaints regarding acts, omissions, discussions and recommendations of the Correctional Service of Canada (CSC). Some of these investigations are of a specialized nature focussing on issues that are specific to or that continue to have a greater impact on Women and Aboriginal Offenders than on the general offender population.

Section 19 of its enabling legislation, the Corrections and Conditional Release Act implicitly requires the OCI to review all investigations conducted by CSC following the death of or serious bodily injury to an offender. The OCI is also engaged in similar monitoring of interventions (Use of Force) by Institutional Emergency Response Teams (IERTs), in keeping with the recommendations of the Arbour Commission (1996)¹.

In all of its endeavours, the ultimate objective pursued by the Office is to ensure that CSC manages our federal correctional system so that it is safe, secure, fair, humane and effective.

Finally, the OCI remains actively aware that its ability to provide such results for Canadians is linked to the level and quality of its participation as a partner in the criminal justice system. Accordingly, it will strive to maintain a positive and productive working relationship with the Correctional Service of Canada. The OCI will also actively promote an agenda of communication and cooperation among its partners and stakeholders in the field of corrections.

Exhibit 1.1 Agency Priorities and Expected Results

C. Summary Information

D. Agency Plans and Priorities

The Office of the Correctional Investigator (OCI) is largely funded through operating expenditures and has the authority to spend revenue received during the year.

The primary legislative mandate of the OCI is to provide Canadians with independent investigation of the individual and systemic problems encountered by federal offenders as a result of decisions, recommendations, acts or omissions by the Correctional Service of Canada (CSC). Section 19 of its enabling legislation, the Corrections and Conditional Release Act also requires that it review all CSC Investigations convened following the death of or serious bodily injury to an offender. The OCI is also engaged in similar monitoring of all interventions by Institutional Emergency Response Teams (IERT's), in keeping with the recommendations of the Arbour Commission.

The maintaining of an independent and objective review process within a correctional environment where the Office has virtually no control over neither the number of complaints nor the extent of the investigations required presents a number of unique challenges. First, the resolution of dispute in an environment traditionally closed to public scrutiny with an understandably high level of mistrust between correctional officials and offenders, requires that the Office not only be, but be seen to be independent of both the Correctional Service and the Ministry. Second, given that the authority of the Office rests with its power of persuasion and public reporting rather than enforceable recommendations, it is imperative that appropriate administrative and political mechanisms be available to ensure that reasonable, fair, timely, thorough and humane action is taken on the findings made by the OCI.

In 1997, the Auditor General of Canada² noted the OCI had to cope with an elevated and incessant demand for its services, and that both the volume and complexity of issues continued to increase. In 2000, the sub-committee of the Corrections and Conditional Release Act of the Standing Committee on Justice and Human Rights³ echoed that finding by recommending the provision of additional resources.

The OCI does not foresee any diminution or decline in either the overall demand for services or in the complexity of the issues the OCI is called upon to address. The environment in which the OCI is called upon to provide results for Canadians continues to be extremely challenging. Essential to moving ahead requires not only innovative and dedicated services, but also sound risk management, knowledge-driven decision-making, rigorous stewardship, clear accountabilities and responsible spending.

To respond to these ongoing operational pressures the OCI adopted it first Corporate Strategic Plan in January 2002 and its Integrated Planning Framework in March 2002.

Identified then and since successfully addressed by the OCI were the following three operational priorities:

1. Increased frequency of institutional visits;
2. Specialized services to Women and Aboriginal Offenders;
3. Timely review and follow-up of s.19 investigations and Use of Force videotapes.

These targets remain essentially current and reside within the core of our operational and strategic planning frameworks. However, the requirement to implement our new Management Resources Results Structure (MRRS) and Program Activity Architecture (PAA) dictate the restatement of our agency's plans and priorities and more specifically, in terms of expected results, performance indicators, and performance measurement strategy.

The OCI's Program Activity (PA) is the "Oversight of Correctional Operations" and its Strategic Outcome (SO) is "the problems of offenders in the federal correctional system are identified and resolved in a timely and reasonable fashion". Our PAA-related plans and priorities correspond to our four Program Sub-Activities:

Priority 1

Investigate and resolve individual offender issues

The role of the Correctional Investigator is to be an ombudsman for federal offenders. The primary function of the Office is to investigate and bring resolution to individual offender complaints. The vast majority of the concerns raised on complaints are addressed by OCI at the institutional level through discussion and negotiation.

Plans

The OCI will visit all institutions, according to its frequency schedule/institutional security level. Its investigative staff will then interview offenders (and those acting on their behalf) and will maintain accessibility through regular correspondence, e-mail and telephone.

OCI investigators will address in a timely fashion all offender issues; prioritizing those they consider being of an urgent nature. In so doing, they will discuss offender concerns and make recommendations to CSC officials at all levels, while always striving to secure resolution at the lowest possible organizational level.

Moreover, the OCI's investigative staff will insist, through follow-up and impact analysis, that CSC's response to its queries and recommendations be timely, fair, thorough, equitable, reasonable and effective.

Finally the OCI will exercise, where appropriate, its prerogative to investigate, of its own initiative, any issue affecting one or more offenders.

Priority 2

Investigate, monitor and resolve systemic offender issues (with a new focus on Infectious Diseases, Mental Health Services and Staff-Offender Harassment)

While the primary role of the Office of the Correctional Investigator is to investigate and resolve complaints from individual offenders, it has, as well, the responsibility to review and make recommendations on the Correctional Service of Canada's policies and procedures associated with the areas of individual complaints to ensure that systemic areas of concern are identified and appropriately addressed.

Plans

Prior to each institutional visit, the OCI investigator will monitor, through a review and comparative analysis of CSC's own RADAR statistics, the institution's performance in the OCI's Areas of Concern (long-standing areas of OCI concern, that are closely linked to an offender's rights and liberty issues, such as timely conditional release consideration and effective internal redress).

During the visit, the OCI investigator will discuss the institution's shortcomings with the Warden and where appropriate will make recommendations. The implementation of those recommendations will be monitored through a review of the institution's performance prior to the next visit, with the OCI always having the option of addressing its concerns at the regional or national level of CSC.

With regard to the emerging issues identified above (Infectious Diseases, Mental Health Services and Staff-Offender Harassment), the OCI's plan is to initially explore each issue, gather intelligence as to its scope, with a view of determining if one or all will be dealt with operationally as an OCI "Area of Concern" or through another investigative strategy.

During each institutional visit, OCI investigative staff will also meet with the Inmate Welfare Committee (IWC) and where appropriate, with other offender groups such as Native Brotherhoods and Sisterhoods. Investigators will then hold timely discussions with CSC authorities and where appropriate, make recommendations related to the systemic issues raised by these groups; striving to achieve resolution at the lowest possible organizational level.

As in the case of individual offender concerns, OCI investigative staff will subsequently monitor and evaluate, through follow-up and impact analysis, the timeliness and overall quality of CSC's response.

Priority 3

Monitor, evaluate, and provide representations on CSC's management of mandated issues (s.19 investigations and Use of Force incidents)

Section 19 of the Corrections and Conditional Release Act implicitly requires that the Office of the Correctional Investigator (OCI) review all investigations conducted by the Correctional Service of Canada following the death of serious bodily injury to an inmate. The OCI is also engaged in similar monitoring of interventions (Use of Force) by Institutional Emergency Response Teams (IERTs), in keeping with the recommendations of the Arbour Commission.

Plans

The OCI Coordinator of s.19 investigation and Use of Force Issues, with the assistance of an analyst, will review CSC s.19 investigations and CSC reports and videotapes related Use of Force incidents, as per OCI's standardized review procedure and timeliness benchmarks. Initially determined will be CSC's compliance with the agreed upon timeliness for providing the OCI with all the required s.19 investigation report. Subsequently, the OCI's review will focus on identifying instances of CSC non-compliance within the law and its own policy regarding the Use of Force or flaws in CSC s.19 investigative reports. Finally, the Coordinator will make representations and/or recommendations to CSC officials at the appropriate level and monitor and evaluate, through follow-up and impact analysis, the timeliness and overall quality of CSC's response.

Priority 4

Investigate, resolve and provide leadership on specifically identified issues (Women and Aboriginal Offenders)

The Office of the Correctional Investigator (OCI) conducts specialized investigations and attempts to resolve the issues raised by or on behalf of Women and Aboriginal Offenders. In cooperation with its partners, both governmental and non-governmental, it provides observations, advice, and direction to the Correctional Service of Canada and others regarding these issues.

Plans

Under the guidance of the Coordinators of Women Offender Issues and Aboriginal Offender Issues, OCI investigators will deal, in essentially the same manner as described above, with individual and systemic issues brought to their attention by Women and Aboriginal Offenders.

OCI investigators will also meet, during each visit with Native Brotherhoods and Sisterhoods and where appropriate, with institutional Elders, Native Liaison Officers and Regional Elder Advisory Committees.

Moreover, OCI investigators will focus on a number of issues which are specific to or which continue to have considerably more impact on those sub-groups than on the general offender population.

Finally, both Coordinators will assume the provision of a national leadership role on key issues affecting their respective areas of responsibility. In so doing they will experience, perhaps more intensely than any other OCI staff, the challenges offered by the federal correctional environment to a micro-agency such as ours.

Firstly, our portfolio is national in scope and offers, given the number and complexity of issues, an endless supply of difficulties, opportunities and shifting priorities. Secondly, our client base and network of stakeholders are dispersed in a large number of often geographically remote locations throughout Canada. Thirdly, our efficiency is more than ever dependent on our ability to adapt and productively master continuously evolving information systems and technology. Fourthly, our already limited resources are increasingly burdened by our statutory obligation to comply with rapidly expanding reporting requirements from Treasury Board and other central agencies.

Accordingly, both Coordinators will prioritize, within their strategic planning process, the development of collaborative and mutually beneficial working relationships with groups and associations in the public and non-governmental sectors, which are involved in the betterment of corrections for Women and Aboriginal Offenders.

Section II: Analysis of Program Activity by Strategic Outcome

The OCI's Strategic Outcome (SO) is "the problems of offenders in the federal correctional system are identified and resolved in a timely and reasonable fashion". It is also the expected result of the OCI's Program Activity (PA) "Oversight of Correctional Operations", which regroups the four OCI Priorities/Program Sub-activities described above (Section I - D. Agency Plans and Priorities).

As the chart below illustrates, each expected result at the Program Sub-activity/OCI Priority Level is expressed and should be perceived conceptually as a link in the results chain following from and to the OCI's Strategic Outcome (SO) and its expected result.

Exhibit 2.1 Agency PAA and Expected Results

Another avenue for understanding the linkage between our agency's Program Activity (PA), Sub-activities/Priorities and the achievement of its expected results and Strategic Outcome (SO) resides in the revised OCI Logic Model presented below:

Exhibit 2.2 OCI Logic Model

To more efficiently implement its new Management Resources and Results Structure (MRRS) and to monitor its performance and progress towards its expected results, the OCI has taken its first tentative steps in the review of its approach to performance measurements and has made the necessary modifications to its own Data Tracking and Information System (DATIS). Efforts to improve the validity and reliability of performance indicators and related measurement strategy will be ongoing and will result in refinements throughout the period covered by the present report.

The chart below outlines our Common (which apply to all or most sub-activities) and Sub-activity specific performance indicators, performance measurement strategy and financial and human resources requirements for the current planning cycle.

Exhibit 2.3 Performance Indicators and Measurement Strategy

Section III: Supplementary Information

A. Management Representation Statement

B. Agency Governance Structure

Ultimately, the Correctional Investigator is responsible for all aspects of the OCI's performance vis-à-vis its strategic outcome and in terms of its accountability to Canadians, Parliament and central agencies.

He is supported in that role by the Executive Director, whose primary responsibility is to manage the Office's investigative process. Assisting him are two Directors of Investigations, to whom report directly all senior investigators and investigators. They are, in turn, supported in their activities, by three intake officers from the Corporate Services and Planning Sector.

Also supervised by the Executive Director are the three coordinators of specialized investigative services 1) Aboriginal Offender Issues, 2) Women Offender Issues, 3) s.19 Investigations and Use of Force. Given the complexity and broad nature of his mandate, the third coordinator is assisted in his role by an analyst. The Executive Director and all the actors in the investigative process benefit from the advice of the OCI's Senior Policy Advisor and Counsel.

Finally, the Coordinator of Corporate Services and Planning, assisted by the Chief of Administrative Services and three intake officers, is responsible for the efficient functioning of the OCI on a day-to-day basis. Provided is the entire range of corporate and administrative services, notably financial administration, procurement, informatics, internal audit, and reporting to Parliament and central agencies.

Exhibit 3.1 - Organization Chart

C. Financial Information

Exhibit 3.2 Agency Planned Spending and Full Time Equivalents

The net cost of the OCI program is, at the present time, expected to remain relatively stable over the next three fiscal years.

* Reflects the best forecast of total net planned spending to the end of the fiscal year.
** Adjustments reflect Supplementary Estimates "A" (Carry Forward from 2003-2004).

Exhibit 3.3 Program Activities

Exhibit 3.4 Voted and Statutory Items in Main Estimates ($ thousands)

Exhibit 3.5 Net Cost of Agency

Section IV: Other Items of Interest

A. Government On-Line Information

Website: http://www.oci-bec.gc.ca
Email: org@oci-bec.gc.ca

B. Statutes and Regulations

Corrections and Conditional Release Act, Part III

C. Reports

Correctional Investigator's Annual Report 2003-2004
( http://www.oci-bec.gc.ca )

Auditor General's Report, chapter 33, December 1997
( http://www.oag-bvg.gc.ca )

Previous Reports on Plans and Priorities (RPP's) and Departmental Performance Reports (DPR's), available on our website:
( http://www.oci-bec.gc.ca )

D. References

Endnotes:

1. The Honourable Louise Arbour, Commission of Inquiry into Certain Events at the Prison for Women, 1996.

2. Auditor General of Canada, Report of the Auditor General of Canada to the House of Commons, Chapter 33, The Correctional Investigator Canada, December 1997.

3. House of Commons Canada, Sub-committee on Corrections and Conditional Release Act, A Work in Progress: The Corrections and Conditional Release Act, May 2000.